Assistant Manager - Compliance Assistant Manager - Compliance …

Haitong International Securities (Singapore) Pte. Ltd.
in Singapore
Permanent, Full time
Last application, 08 Dec 21
Competitive
Haitong International Securities (Singapore) Pte. Ltd.
in Singapore
Permanent, Full time
Last application, 08 Dec 21
Competitive
Posted by:
Elyse Kwan • Recruiter
Posted by:
Elyse Kwan
Recruiter
Haitong International Securities Group (Singapore) Pte Ltd is looking for a dynamic and all rounded individual to provide compliance support for its growing business lines of securities financing, asset management, private wealth management, custodian services, leveraged foreign exchange and futures trading, FICC, institutional equity and corporate finance. The successful candidate will be part of a dedicated and professional compliance team. As Haitong International is rapidly developing its presence in Singapore, this role offers the successful candidate tremendous opportunity for growth, advancement and learning.

Job Description: 

  • Initiating timely review on policies and procedures to keep it up to date with regulatory and Group internal control requirements
  • Executing and monitor the Compliance Program (e.g. AML assessment, compliance risk assessment, annual compliance work plan and periodic compliance reviews)
  • Acting as the compliance control room for the Singapore office (e.g. maintain restricted lists and providing clearance for wall-crossing request)
  • Preparing regular reporting matters (e.g. monthly reporting to Group Compliance; filing Suspicious Transaction Reports)
  • Participating in special projects (such as application for new licenses/ memberships/ business) on an ad hoc basis
  • Other compliance work that may be assigned from time to time by Group Compliance

Requirements:

  • Bachelor degree or other professional equivalent qualification
  • At least 3 years of relevant compliance experience
  • Solid understanding of the SGX rules and MAS Notices and Guidelines
  • Candidates with experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply
  • Good communication, interpersonal and influencing skills
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